Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pelletiere (Pelletiere), previously associated with Pruco Securities, Llc., has at least 4 disclosable events. These events include 3 customer complaints, one tax lien, alleging that Pelletiere recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,001.00 on October 16, 2024.
The complainant alleges that his registered representative forged his signature on an insurance application on/or around September 04, 2019, and signed for new and additional policies, even though his current policies were still active.
